FULLER LYNN B 4

Accession 0000920112-21-000048

CIK 0000920112other

Filed

Mar 8, 7:00 PM ET

Accepted

Mar 9, 4:15 PM ET

Size

31.9 KB

Accession

0000920112-21-000048

Form 4

Period: 2021-03-05

DirectorPresident & CEO

Transactions

Exercise/Conversion
Common Stock
2021-03-05$48.88/sh+1,021$49,906→ 276,056 total(indirect: By Trust)
Exercise/Conversion
Common Stock
2021-03-05$48.88/sh+532$26,004→ 276,588 total(indirect: By Trust)
Tax Payment
2019 Time-Based Restricted Stock
2021-03-05$48.88/sh−1,466$71,658→ 0 total
→ Common Stock (1,466 underlying)
Exercise/Conversion
Common Stock
2021-03-05$48.88/sh+1,148$56,114→ 277,736 total(indirect: By Trust)
Tax Payment
2018 Time-Based Restricted Stock
2021-03-05$48.88/sh−764$37,344→ 0 total
→ Common Stock (0 underlying)
Exercise/Conversion
Common Stock
2021-03-05$48.88/sh+359$17,548→ 275,035 total(indirect: By Trust)
Tax Payment
2018 Performance Based Restricted Stock (1-year performance)
2021-03-05$48.88/sh−516$25,222→ 0 total
→ Common Stock (0 underlying)
Tax Payment
2020 Time-Based Restricted Stock
2021-03-05$48.88/sh−1,649$80,603→ 0 total
→ Common Stock (3,297 underlying)

Holdings

2019 Time-Based Restricted Stock
→ Common Stock (2,932 underlying)
0
2018 Time-Based Restricted Stock
→ Common Stock (1,528 underlying)
0
Common Stock
(indirect: By Trust)
92,669
Common Stock
(indirect: Family LLLP)
313,180
Common Stock
(indirect: HTLF Retirement Plan)
12,188
Common Stock
(indirect: By Trust)
274,676
Common Stock
(indirect: Family II LLLP)
254,258
2020 Performance Based Restricted Stock (3-year performance)
→ Common Stock (4,946 underlying)
0
2018 Performance Based Restricted Stock (3-year performance)
→ Common Stock (3,056 underlying)
0
2020 Time-Based Restricted Stock
→ Common Stock (4,946 underlying)
0
2018 Performance Based Restricted Stock (1-year performance)
→ Common Stock (516 underlying)
0
Common Stock
(indirect: By Trust)
5,000
2019 Performance Based Restricted Stock (3-year performance)
→ Common Stock (4,398 underlying)
0

Footnotes (12)

[F1]These shares are held by Lynn B. Fuller Trust Under Agreement dated 5-7-96, Lynn B. Fuller Trustee
[F10]Of these restricted stock units, 1/3 vest in 01-2018, 1/3 vest in 01-2019 and 1/3 vest in 01-2020.
[F11]These restricted stock units vest in 2021 if certain performance measures are achieved by the Issuer.
[F12]These restricted stock units vest on 3-6-2021 if certain performance measures are achieved by the Issuer.
[F2]These shares are held by LBF Heartland Partnership LLLC - Lynn B Fuller is the General Partner. Wife and two (2) adult sons are Limited Partners.
[F3]These shares are held by Cynthia A Fuller Declaration of Trust under agreement dated 7/2/2015, Cynthia A Fuller, Trustee
[F4]Represents shares allocated to the reporting person's account under the Heartland Financial USA, Inc. Retirement Plan as a result of the Pension Plan Protectin Act of 2006.
[F5]Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
[F6]Of these restricted stock units, 1/3 vest on 3-6-2021, 1/3 vest on 3-6-2022, and 1/3 vest on 3-6-2023.
[F7]These restricted stock units vest in 2023 if certain performance measures are achieved by the Issuer
[F8]Of these restricted stock units, 1/3 vest on 3-6-2020, 1/3 vest on 3-6-2021, and 1/3 vest on 3-6-2022.
[F9]These restricted stock units vest in 2022 if certain performance measures are achieved by the Issuer

Documents

1 file

HEARTLAND FINANCIAL USA INC

CIK 0000920112

Entity typeother